Conflict of Interest

  • Robert Rex, Esq.

Recover Your Losses on Hospitality Investors Trust REIT
Recover Your Losses on Hospitality Investors Trust REIT 150 150 Robert Rex, Esq.

Hospitality Investors Trust Real Estate Investment Trust Lawsuit Did you invest in Hospitality Investors Trust REIT ?  Stock Loss Recovery Lawyer If you invested in Hospitality Investors Trust REIT you…

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  • Robert Rex, Esq.

Texas Regulators Revoke Gus Marwieh’s Securities Registration-Austin, TX
Texas Regulators Revoke Gus Marwieh’s Securities Registration-Austin, TX 150 150 Robert Rex, Esq.

October 2019 – Austin, Texas  Texas Securities Commissioner, Travis Iles, revoked the registration of  Gus Marwieh  for fraud related to the sale of pension investments, according to a news release…

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  • Robert Rex, Esq.

Tamara Steele- Former Comprehensive Asset Management and Servicing Broker-Named in SEC Suit Over Behavioral Recognition Systems-Pendleton, Indiana
Tamara Steele- Former Comprehensive Asset Management and Servicing Broker-Named in SEC Suit Over Behavioral Recognition Systems-Pendleton, Indiana 150 150 Robert Rex, Esq.

October 2018- Pendleton, Indiana According to publicly available records Tamara R. Steele   (CRD#3227494) ,  a  stockbroker who was last registered with Comprehensive Asset Management and Servicing (CAMAS)  a/k/a Aurora Private Wealth or…

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  • Robert Rex, Esq.

Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, TX
Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, TX 150 150 Robert Rex, Esq.

March 2018-Dallas, Texas Lewis H. Rogers, a broker who has worked for Raymond James & Associates since 2/2013, discloses on his FINRA records that an all public FINRA arbitration panel…

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  • Robert Rex, Esq.

Nicolaas P. Pronk-Noble Capital Named in Complaint Over Sale of AdCare Health Systems Stock-Boca Raton, FL
Nicolaas P. Pronk-Noble Capital Named in Complaint Over Sale of AdCare Health Systems Stock-Boca Raton, FL 150 150 Robert Rex, Esq.

November 2016-Boca Raton, FL According to publicly available records Nicolaas P. Pronk , (CRD# 1726101) ,  a  stockbroker who is employed by  Noble Capital Markets,  disclose  a pending regulatory matter. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

United Development Funding Offices Raided by FBI- Grapevine, Texas
United Development Funding Offices Raided by FBI- Grapevine, Texas 150 150 Robert Rex, Esq.

February 19, 2016- Grapevine, Texas The FBI raided the offices of United Development Funding (UDF) yesterday causing the shares of its largest fund United Development Funding IV to fall over 50%,…

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  • Robert Rex, Esq.

JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest
JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest 150 150 Robert Rex, Esq.

August 17, 2015, JMP Securities LLC,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010 through…

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  • Robert Rex, Esq.

William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest
William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest 150 150 Robert Rex, Esq.

August 17, 2015, William Blair & Company,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010…

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